cg498.htm
                                                                                                                                    


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
 
Washington, DC  20549
 
FORM 8-K
 
CURRENT REPORT
 
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported):   January 29, 2015
 

 
HENNESSY ADVISORS, INC.
(Exact name of registrant as specified in its charter)

 
California
001-36423
68-0176227
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
     
7250 Redwood Blvd., Suite 200
             Novato, California            
94945
(Address of principal executive offices)
(Zip Code)

Registrant’s telephone number including area code:                   (415) 899-1555
 
Not Applicable
(Former name or former address, if changed since last report)
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
 
£
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
 
£
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
 
£
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
 
£
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
                                                                                                                                          
 
 
 
 
Item 5.07                      Submission of Matters to a Vote of Security Holders
 
The Annual Meeting was held January 29, 2015.  At the Annual Meeting, the following directors were elected for terms expiring at the annual meeting of shareholders to be held in 2016 by the votes indicated:
 
 
For
  
Withheld
  
Broker Nonvotes
Neil J. Hennessy
3,847,292
  
32,152
  
1,444,928
Teresa M. Nilsen
3,871,018
  
8,426
  
1,444,928
Daniel B. Steadman
3,870,218
  
9,226
  
1,444,928
Henry Hansel
3,861,602
  
17,842
  
1,444,928
Brian A. Hennessy
3,848,492
  
30,952
  
1,444,928
Daniel G. Libarle
3,861,602
  
17,842
  
1,444,928
Rodger Offenbach
3,848,492
  
30,952
  
1,444,928
Susan W. Pomilia
3,873,292
  
6,152
  
1,444,928
Thomas L. Seavey
3,854,852
  
24,592
  
1,444,928

The following reflects the voting results for matters other than the election of directors brought for vote at the Annual Meeting:

 
For
  
Against
  
Abstained
  
Broker Nonvotes
Approval of an amendment to the Second Amended and Restated Bylaws of Hennessy Advisors, Inc. to increase the minimum and maximum size of the Board of Directors to 7 and 11, respectively
3,823,420
  
900
  
55,124
  
1,444,928


 
For
  
Against
  
Abstained
  
Broker Nonvotes
Ratification of Marcum LLP as Hennessy Advisors, Inc.’s independent registered public accounting firm for fiscal year 2015
5,231,791
  
3,094
  
89,487
  
0

 

 
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SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
HENNESSY ADVISORS, INC.



February 2, 2015                                                                      By:       /s/ Daniel Steadman
Daniel Steadman
Executive Vice President
 

 
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